If you are concerned with the increasing complex burden of implementing your compliance program, AdvisorAssist professionals can help.
Compliance Advantage™ is ideal for advisors that are seeking to partner with experts to take a proactive approach to managing their compliance programs.
Our experienced compliance professionals partner with you to support the implementation of your compliance program in a way that meets your unique needs, business model and budget.
Our services include:
Professional Phone Support. Live phone and chat support (Monday through Friday) with compliance and business professionals.
Initial Assessment and Enhancement
Business Model Review. Perform comprehensive review Advisor’s business practices and risk model.
Form ADV 1 Review. Review Form ADV Part 1 for adherence to securities laws and inconsistencies with Advisor’s business model.
Review Form ADV 2A & 2B. Review Form ADV Part 2A and 2B’s for adherence to securities laws and Advisor’s business model.
Review Form U-4. Review filings for each Investment Advisor Representative for applicable registrations, business activities, and conflicts of interest.
Review Client Agreements. Review advisory agreements for consistency with business practices, regulations and other disclosures.
Compliance Policies & Procedures. Review, enhance or replace policies and procedures to ensure their effectiveness in preventing, detecting and correcting violations of the securities laws.
Review Code of Ethics. Review Advisor’s personal trading, gifts and conflict of interest and related policies.
Privacy & Data Security. Review Advisor’s data management, information security and technology practices for adherence to regulations.
Baseline Advertising Review. Baseline review of advisor website, firm presentations and other advertising materials.
Chief Compliance Officer Training. Complete training on compliance responsibilities, workflow and best practices for your CCO and staff.
Ongoing Compliance Support
Annual ADV Amendments. Review and file Form ADV1, 2A and 2B for required updates and changes in the Advisor’s business.
Interim ADV Amendments. Review and file Form ADV1, 2A and 2B for regulatory and/or business model changes.
Annual U-4 Review. Review background, outside business activities and related information for Investment Advisor Representatives (“IARs”).
Monitor for Regulatory Changes. AdvisorAssist monitors for federal and states regulatory changes and provides guidance on the impact to Advisors.
Risk Assessments. Provide Advisor with quarterly and/or topic-based risk assessments for all required policies and business practices.
Ongoing Advertising Review. Review of advisor advertising materials and mass communications during the year.
Annual CCO Report. Assist the CCO with a review of the results of the CCO’s annual compliance program review and report.
AdvisorCloud™ and Technology
AdvisorCloud™. Access to AdvisorAssist’s secure cloud-based compliance portals designed for Advisors. AdvisorCloud™ is designed to assist with management of the Advisor’s compliance program, business continuity, task management, compliance knowledgebase and more.
Business Continuity Planning. Process and technology review to ensure sound contingency practices.
Technology Guidance. Guidance on technology selection and integration. (Implementation services offered at additional cost).
Newsletter and Email Alerts. Access to Advisor InSights™ newsletter and periodic email updates on relevant topics.
AdvisorAssist Resources™. Access to AdvisorAssist Resources™, an online advisor resource center for business, compliance and technology topics.
Mock SEC or State Examinations
SEC to State Transitions
Regulatory Exam Support
Service Provider Due Diligence
New IAR On-Boarding
Please call us at (617) 800-0388, Option 1 or click here to discuss your specific situation and obtain pricing for complex situations. We customize our services to meet the unique needs of your firm.